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Elizabeth Elswick

Elizabeth Elswick

ELSWICK INVESTMENTS
CHICAGO, IL
Some features on this profile are disabled
CRD#: 6691170
Elizabeth Elswick

Professional summary

Elizabeth Elswick, who also goes by Elizabeth Elswick Caddy, Elizabeth Caddy, is a registered financial advisor currently at ELSWICK INVESTMENTS LLC located in Chicago, Illinois and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Elizabeth has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Elizabeth Elswick Caddy | Elizabeth Caddy

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elizabeth Elswick's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 20, 2026 - Present

ELSWICK INVESTMENTS LLC

RIA
CRD#: 337607
CHICAGO, IL
Current

February 24, 2026 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901
BD
CRD#: 37157
SUMMIT, NJ
Past

February 21, 2017 - February 20, 2026

EDWARD JONES

RIA
CRD#: 250
Chicago, IL
Past

October 28, 2016 - February 20, 2026

EDWARD JONES

BD
CRD#: 250
Chicago, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alaska
(3/26/2026)
RR
Arkansas
(3/18/2026)
RR
California
(3/17/2026)
RR
Colorado
(4/6/2026)
RR
Florida
(3/11/2026)
IAR
Illinois
(2/20/2026)
RR
Illinois
(3/5/2026)
RR
Indiana
(4/14/2026)
RR
Missouri
(4/14/2026)
RR
Pennsylvania
(4/9/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/28/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/28/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EI
ELSWICK INVESTMENTS LLC
ELSWICK INVESTMENTS LLC

CRD#: 337607 / SEC#:

Illinois
Registered Investment Advisory firm - (2/20/2026 Approved)
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Contact information

Main Address
Chicago, IL
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ELSWICK INVESTMENTS LLC

CRD#: 337607Chicago, IL

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Contact information

(xxx) xxx-xxxx

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